Keesal, Young & Logan Shareholder Lisa Bertain will be speaking on the “Responding to Whistleblowers” Panel at the Securities Industry and Financial Markets Association (SIFMA) Compliance and Legal Society Annual Seminar. The session will cover
- Whistleblower Protections Under DoddFrank and the SEC Rules
- Notable Enforcement and Litigation Resolutions
- Witness Recoveries and Internal Escalation
- Effects of Programs on Compliance, Legal and Audit
- Creating and Leveraging Internal Compliance Programs
This preeminent securities conference, where every major investment firm, law firm and regulator is represented, is scheduled to take place in Phoenix, Arizona, from March 15 through 18, 2015.
For registration and other details on this seminar, featuring 65 dynamic and informative panels, please click here.